Information Collection Request (ICR) Tracker

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Federal Register Notices

Authorizing Statutes

Abstract

In July 2013, the agencies adopted amendments to the market risk capital rule. The revised market risk capital rule requires public disclosure of certain information at the consolidated banking organization level as well as certain additional regulatory reporting by insured depository institutions (IDIs), BHCs, and SLHCs (BHCs and SLHCs are collectively referred to as "holding companies" (HCs)).

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Federal Register Notices

Authorizing Statutes

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Section 15B and section 15C of the Securities Exchange Act of 1934 (the “Exchange Act”) require, in part, that all national banks and federal savings associations (“FSAs”) that act as a municipal securities dealer or a government securities broker/dealer, respectively, file the relevant form with the appropriate regulatory agency to inform such agency of their broker/dealer activities. This information collection is required to satisfy the requirements of the Exchange Act. National banks and FSAs planning to engage in broker/dealer activities must file the required forms before beginning these activities.

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Federal Register Notices

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On November 15, 2021, the Infrastructure Investment and Jobs Act of 2021 (Pub. L. 117-58) “Bipartisan Infrastructure Law (BIL)” was enacted. In addition to mandating that FRA establish an online portal and corresponding database to receive information regarding blocked highway-rail grade crossings, section 22404 of BIL “encourages each complainant to report the blocked crossing to the relevant railroad.” Therefore, in preparation for this new statutory mandate, FRA proposes to modify the existing web-based forms by adding one question, “have you contacted the railroad?” Otherwise, the rest of the questions on the web-based forms will remain the same. In 2020, FRA created a dedicated website allowing the public, law enforcement personnel, and first responders to use web-based forms to voluntarily submit information about blocked crossings to FRA. Under the currently approved information collection request, users provide information regarding the location, date, time, duration, and immediate impacts of highway-rail grade crossings blocked by slow-moving or stationary trains. FRA uses the data collected to gain a more complete picture of where, when, for how long, and what impacts result from reported blocked crossing incidents. This information is voluntary and open to the public. There is no requirement for recordkeeping. The frequency will be as needed as determined by the public.

Key Information

Federal Register Notices

Abstract

The NASA Astronaut Appearance Office (AAO) located at the Johnson Space Center is responsible for vetting, processing, and coordinating logistics for Official NASA Astronaut Appearances. In order to accommodate, authorize, and coordinate requests for appearances, the creation of an information collection about members of the general public or individuals representing organizations that make requests to the Agency for an Official Appearance will be created. This form will collect details of the request and a valid point-of-contact (POC) information for the requestor and will be used by the NASA AAO and Legal and HR personnel in the vetting, coordinating, scheduling, and authorization processes to work with requestors to facilitate the appearance logistics. Typically, appearances are made to high schools and universities, community organizations, businesses and associations, or military organizations.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

The initial IC under the collection—regulations governing designated contract markets (DCMs)—found in part 38 of the Commission’s rules— were adopted pursuant to the Commodity Futures Modernization Act of 2000, which amended section 5 of the CEA to impose requirements concerning the registration and operation of DCMs. The DCM statutory framework subsequently was revised as a result of further amendments to the CEA under Title VII of the Dodd-Frank Act. Part 38 of the Commission’s regulations governs the activities of DCMs. The information collected under part 38 is used by the Commission to evaluate whether entities operating as, or applying to become, DCMs complied with its requirements. Information generated by the collection’s second IC provides the means for the Commission to prevent unauthorized usage of customer funds by FCMs while also providing modifications to existing rules respecting DCMs. The provisions obligate DCMs to comply with additional requirements for self-regulatory organizations, including the requirements to adopt enhanced examination procedures and have examination programs reviewed by an examinations expert and periodically file data with the Commission; information that is used by the Commission to maintain oversight by identifying problematic financial matters in time to avoid market disruptions, and avoid tie-up of customer funds. Under the collection’s third IC, the Commission uses the information to enhance its oversight by adopting the System Safeguards and Cybersecurity Testing Final Rulemaking, which requires DCMs to provide the Commission with annual trading volume information. Specifically, the trading volume information assists the Commission in its application of the enhanced system safeguard and cybersecurity testing requirements for DCMs.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

Section 731 of Title VII of the Dodd-Frank Act amended the Commodity Exchange Act (CEA) to add section 4s(f) and 4s(g) which establish certain reporting, recordkeeping, and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). Specifically, section 4s(f) authorizes the Commission to promulgate books and records and reporting requirements for SDs and MSPs. It also expressly obligates SDs and MSPs to maintain records of all activities related to their swaps businesses and to make reports regarding their transactions, positions and financial condition, as required by such regulations. Section 4s(g) requires SDs and MSPs to maintain daily trading records of their swaps that contain any information prescribed by Commission regulations; all related records (including records of related cash and forward transactions); all recorded communications (including electronic mail, instant messages, and recordings of telephone calls); and a complete audit trail for conducting comprehensive and accurate trade reconstruction. Section 4s(g) also requires that the daily trading records for each swap transaction be identifiable by transaction and by counterparty.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

The quarterly Country Exposure Report (form FFIEC 009) and the Country Exposure Information Report (form FFIEC 009a) provide information regarding the amounts and composition, by country, of the foreign country exposures of U.S. banking institutions. This reporting and disclosure requirement is authorized by Sections 7 and 10 of the Federal Deposit Insurance Act (12 U.S.C. 1817 and 1820) and Sections 907(a) and (b) of the International Lending Supervision Act of 1983 (12 U.S.C. 3906(a) and (b)), as implemented by Section 347.305 of the FDIC’s regulations (12 CFR 347.305), which requires FDIC-supervised banking institutions to submit quarterly reports to the FDIC and to disclose to the public material country exposures.

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Federal Register Notices

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The information collected is used by PBS to evaluate a contractor’s proposals, negotiate contract modifications, evaluate a contractor’s progress, and review payment requests during contract administration. The information being collected is required by General Services Administration Acquisition Regulation (GSAR) clause 552.236-72, Submittals. The GSAR clause provides guidance to contractors regarding preparation, submission, and resubmission of required contract submittal documents. The clause specifically removes the requirement for a specific number of prints and copies of various submittals such as shop drawings, coordination drawings, and schedules.

Key Information

Federal Register Notices

Authorizing Statutes

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The NCUA issued regulation under 12 CFR part 702, subpart E, “Capital Planning and Stress Testing” regarding capital planning and stress testing for federally insured credit unions with $10 billion or more in assets and supervised by Office of National Examinations and Supervision (covered credit unions). The rule authorizes covered credit unions to conduct stress tests in accordance with the NCUA’s requirements. Section 702.506 provides for the necessary requirements for those credit unions to conduct supervisory stress tests. The ‘‘NCUA Template - Large Credit Union Data Collection’’ was developed for the credit unions to provide NCUA with the specific data needed to evaluate their internal assessments of capital adequacy and to ensure their capital resources are sufficient.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

The Small Business Regulatory Enforcement Fairness Act of 1966, 15 U.S.C. Sec. 657(b)(2)(B), requires the SBA National Ombudsman to establish a means for SBA to receive comments on regulatory and compliance actions from small entities regarding their disagreements with a Federal Agency's action. The Ombudsman uses the information to encourage a fresh look by the agency at a level and build a more small business friendly regulatory environment.

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Federal Register Notices

Authorizing Statutes

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Subpart D of Part 702 addresses limits on loans to other credit unions; an expansion of the borrowing rule to clarify that federal credit unions (FCUs) can borrow from any source; revisions to the risk-based capital (RBC) rule, and the payout priorities in an involuntary liquidation rule to account for Subordinated Debt and Grandfathered Secondary Capital; and cohering changes to part 741 to account for the other changes proposed in this rule that apply to federally insured, state-chartered credit unions (FISCUs). The borrowing authority granted to FCUs by the FCU Act, along with FCUs’ statutory authority to enter into contracts and exercise incidental powers necessary or required to enable the FCUs to effectively carry on their business, supports the legal analysis that FCUs are authorized to incur indebtedness through the issuance of debt securities of the type contemplated by this proposed rule. This rule would permit LICUs, Complex Credit Unions, and New Credit Unions to issue Subordinated Debt Notes for purposes of regulatory capital treatment. It contains a series of requirements in respect of the Subordinated Debt and Subordinated Debt Note, disclosures and offering materials, repayment (including prepayment), and regulatory capital treatment.

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Federal Register Notices

Authorizing Statutes

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This package requests information from the Department of Energy Facilities Management Contractors for contract administration, management oversight and cost control. This information is used to ensure that Department contractors recruit and retain a workforce in accordance with the terms of their contract and in compliance with statutory and regulatory requirements as identified by the contract. Collection is made to Department contractors, not the general public.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

The collection of information in Form 8938 will be the means by which taxpayers will comply with self-reporting obligations imposed under section 6038D with respect to foreign financial assets.

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Federal Register Notices

Authorizing Statutes

Abstract

This revised collection of information modifies the current form to remove the HIPAA Privacy/Security complaint category section. The section is revised to read as follows: “Identify the HIPAA Non-Privacy/Security complaint category” section of the complaint form. On this revised version of the form, complainants are given an opportunity to check the “Unique Identifiers” and “Operating Rules” option to additionally categorize the type of HIPAA complaint being filed. The revised form also requests an email address for filed against entities, if available. Finally, the revised form is structured so that it be expanded to collect additional HIPAA Administrative Simplification complaint types in the future.